Internal Audit Conference

Transcription

1 Western Australia SUBHEADING Internal Audit Conference Disrupted governance The internal audit opportunity September, Duxton Hotel, Perth Connect Support Advance

2 Program overview Taking the theme Disrupted governance The internal audit opportunity, this year s program will explore the issues that can disrupt organisations and focus on the opportunities for internal audit, risk and governance professionals to lead their organisations through change and take advantage of opportunities through disruption. Some of the key issues to be covered include impacts from the APRA CBA report and Royal Commission; AI and Robotics governance; Blockchain; soft controls; data analytics; and the evolution of the internal audit profession. The program features a variety of keynote and technical sessions, along with interactive sessions to enable peer-to-peer discussion on critical issues and post conference workshops to delve into the how to of internal audit. There will be first-hand insights on stakeholder expectations and vision, coupled with expert opinions on risk management issues and better practice internal audit methodologies. Importantly, there will be ample networking and knowledge sharing opportunities. We encourage you and your team to attend the Western Australia Internal Audit Conference to gain the skills, knowledge and ideas to enable your internal audit opportunity. We look forward to seeing you at the conference. Mark Hamill AMIIA Western Australia Chapter Chair IIA-Australia Mark Harrison PMIIA CIA CRMA President IIA-Australia Major Sponsor Sponsors CAE Forum Sponsor Lunch Sponsor

3 CONFERENCE PROGRAM THURSDAY 13 SEPTEMBER am am CAE Breakfast Forum This is an exclusive invitation only event limited to CAEs which will focus on the emerging issues for the internal audit profession and the critical role of the CAE. This interactive forum will provide the opportunity for you to engage with, debate, question and discuss various issues at strategic level with your peers as well as provide insight into senior executives and stakeholders expectations of internal audit. 8.30am 8.50am 8.50am 9.00am 9.00am 9.45am KEYNOTE am 10.30am KEYNOTE am 11.00am REGISTRATION AND ARRIVAL REFRESHMENTS WELCOME ADDRESS AND OPENING REMARKS Preparing for the (clean) tech tsunami of the 21 Century The adoption of smarter technologies - including cleantech, automation, robotics and 3D printing which is connected through social media and smart devices, is changing the world and the way we interact with family, friends and customers, and much faster than (almost) anyone imagined. This session will explore what we may expect when disruption hits and the impacts of successful new technology rushing through the economy. Understanding the speed of new disruptive technologies Addressing the demand for cleaner, cheaper, faster, smarter products and services Responding to disruption quickly in the context of our work, personal and community lives What might a sustainable world look like by 2040? Professor Ray Wills, Managing Director, Future Smart Strategies Whole-of-government risks and initiatives: through the looking glass From a whole-of-government perspective, the expectations on both external audit and internal audit are influenced by a range of factors including legislative requirements, ministerial directions, departmental structures, regulatory change, changing risk profiles and public expectations. This session will provide unique insights from the new Auditor-General of Western Australia: Machinery of government what action should internal audit take to be on the front foot and help management? Auditing end-to-end processes - collaborating and coordinating with other assurance providers, ensuring sufficient visibility of review activity Whole-of-government risks across clusters, including emerging risks and project risks Avoiding a silo approach and encouraging knowledge sharing - building a good working relationship between internal and external audit Leveraging off each other how internal audit can be the conduit for driving better organisational performance and outcomes for the people of Western Australia. Caroline Spencer, Auditor-General of Western Australia, Office of the Auditor General MORNING TEA AND NETWORKING BREAK 11.00am 11.45am CONCURRENT SESSIONS 1 1A How the APRA CBA report and Royal Commission will drive culture change Overview of the APRA findings Key learnings from recent regulatory events How do the findings from the Royal Commission and APRA reports relate to your organisation? Having the conversation with the Board on the importance of culture and accountability. Implications for the three lines of defence model What does it mean for Internal Audit? Jane Gouvernet, Associate Director, Corporate Finance, BDO 11.45am 12.30pm CONCURRENT SESSIONS 2 2A Auditing the Invisible? Fraud, bribery and corruption Overview of the bribery and corruption risks and regulations Insights from case studies of prosecutions to highlight the risks to companies and individuals Tips and tricks to identify who should be involved within and outside your company How can the risk of bribery and corruption be mitigated The role and responsibilities of internal audit as it relates to fraud and corruption: Auditing the invisible? Ben Arnold AMIIA Director, A & P Advisory Jon Greenaway, Manager Anti-Fraud & Corruption, Woodside Energy 1B Unlocking the secrets of Blockchain Understanding Blockchain - what is it, how does it work and where would you use it? Overview of regulatory, compliance and governance challenges Trust and controls in the Blockchain environment Blockchain within the internal audit context does it provide the perfect audit trail? James Eggleston, Senior Analyst, Power Ledger 2B AI and Robotics performance improvement and governance Understanding the opportunities and risks associated with AI and Robotics Designing a robust governance framework for your AI and Robotic processes How internal audit can leverage AI and Robotics as part of the Governance framework Insights from the field case studies of AI and Robotics in practice Trevor Hockridge, Principal, Deloitte 12.30pm 1.30pm LUNCH AND NETWORKING BREAK

4 CONFERENCE PROGRAM 1.30pm 2.15pm CONCURRENT SESSIONS 3 3A Taking an internal audit lens to culture Why soft controls matter? Culture, culture, culture what should internal auditors do? What are soft controls and why does internal audit need to consider them? How can internal audit uncover the hidden behavioural drivers of key issues? Strategies for embedding a structured soft controls approach throughout each internal audit Benefits, roadblocks and key lessons learned. Lisa Bayakly MIIA(Aust), Partner Audit, Assurance and Risk Consulting, KPMG Maria Basil, Associate Director, Audit, Assurance and Risk Consulting, KPMG 3B Auditing an information processing environment This session will explore the changing complexity of IT auditing in an information economy shaped by everincreasing speed. Defining an auditable IT universe from your PC to the world wide web New working methodologies and greater IT literacy - how can we as auditors still do our work? Analysis and reflections. Ronald van Erven, Information Risk & IT Assurance Analyst, CIO Office, IT Services Centre, Edith Cowan University 2.15pm 3.00pm CONCURRENT SESSIONS pm 3.30pm 4A Public sector governance structures Embedding greater accountability and controls Overview of challenges in balancing public sector efficiency with robust governance and controls Understanding where current governance frameworks may be under pressure in light of findings from the Banking Royal Commission Demystify charters and decision making processes in the governance framework Developing KPIs to measure the effectiveness your governance framework and the role of internal audit in the process. Panel members include: 3.30pm 4.30pm KEYNOTE pm 5.20pm KEYNOTE pm 5.30pm 5.30pm 6.20pm Andrew Georgiades PMIIA CIA, Principal Internal Auditor, Department of Treasury Fiona Hunt, Director Performance, Assurance and Risk, Corporate Services, Department of Justice David Joyce MIIA(Aust), Head Audit, Australian Broadcasting Corporation AFTERNOON TEA AND NETWORKING BREAK Leading the evolution of internal audit - Discussion Forum 4B Making data analytics real Case studies of data analytics at work This session will feature three short talks by internal audit practitioners on the practical application of data analytics in their audit shops. Key points to be discussed include: Understanding what you are looking at - critical elements in getting data analytics right from outcomes, design, configuration and support Practical elements in using analytics in audit engagements and field work Presenting better results by embedding data analytics in your audit reporting processes. Talk 1: Karen Bateman MIIA(Aust), Executive Manager Governance, City of Canning Talk 2: Ernest Sellers PMIIA, Global Assurance Lead, South32 Talk 3: Carly Lambert, Data Assurance Lead, PwC More than just shooting the breeze, this lively, more informal session will gather together ideas and encourage lateral thinking on the key challenge of providing efficient and real value-add internal audit deliverables. In this session we will reflect on the current state of the internal audit profession, its future expectation, identification of the expectations and what changes may have to be made. Key points to be covered include: Internal audit today its position within organisations, its expectations and the value-add it is bringing to the table Changing stakeholder expectations is internal audit keeping up in today s fast-paced operating environment What is internal audit s role in organisational strategy? Understanding the changing skill set and resourcing requirements to future proof the profession Strategic audit planning what does the new age audit universe look like? The evolution of internal audit what needs to change to ensure continued relevance. This is an interactive session designed to engender and exchange ideas on better practices as well as raise questions and awareness on how the internal audit profession can continue to add more value to their organisations. So come prepared to be involved! Discussion leader: Mark Harrison PMIIA CIA CRMA, President, IIA-Australia & Managing Director, Protiviti Disrupt yourself and thrive through change The session will take a look at mind over matter and example tools that we can use at a personal level to build resilience and to embrace change that is constantly impacting upon our professional and personal lives. Have increased awareness of how change impacts people and how to build change readiness Understand how the brain reacts during change and strategies you can apply to self-regulate and to support others through change Identify the key steps to take before, during and after a change to help ensure successful outcomes Know the actions to take to build new habits that help to reinforce the change. Michelle Cowan, Inaugural Coach Fremantle Dockers AFLW team, 2014 AFL DSR Coach of the Year, 2013 Football Woman of the Year CLOSING REMARKS AND AWARD PRESENTATIONS NETWORKING DRINKS

5 POST-CONFERENCE WORKSHOPS FRIDAY 14 SEPTEMBER am 8.30am 8.30am 12.30pm 12.30pm 1.00pm 1.00pm 5.00pm REGISTRATION AND ARRIVAL REFRESHMENTS WORKSHOP 1 ASSESSING CYBERSECURITY READINESS This half day workshop demystifies cybersecurity. It covers a basic cybersecurity understanding and guides participants through an approach to assessing cybersecurity risks and controls. The workshop will provide participants with a framework to develop a cybersecurity risk assessment to assist their organisation to assess cybersecurity arrangements. Key areas to be covered Business significance of cyber risk and key concepts Key IIA Standards & related IIA guidance IT security roles & responsibilities across all lines of defence Assessing cybersecurity using a framework Cyber security governance, the key to cyber resilience Monitoring and reporting to the Board and Audit Committee. Learning outcomes Describe the role of internal audit related to cyber threats Apply key concepts, IIA Standards & Guidance and resources to your organisation Assess inherent risk and cyber threats in your organisation Apply a framework to assessing cyber security threats and risks that you can take back to your workplace List key internal audit considerations for cybersecurity risk Report cyber assurance knowingly and coherently to the Board, Audit & Risk Committee and senior management. Presenter: Stephen Coates PFIIA CIA CGAP CRMA, Vice-Chair, IT Guidance Committee, IIA-Global & Director, Prosperity Advisers Group Stephen has over 20 years experience leading assurance and advisory teams in both a private and public-sector context. He was previously a partner in a large international advisory firm and has held senior roles in advisory and consulting services, technology risk consulting, and assurance services. He is also a sought after independent Audit and Risk Committee Chair, and currently sits on three Audit and Risk Committees nationally. He has strong commercial operational experience and has also held several non-executive Director roles. Stephen has significant IT assurance & advisory experience specialising in information technology governance, risk and control, and has been involved in major IT advisory, security and forensic projects globally. He is also international Vice-Chair of the Global IT Guidance Committee of the Institute of Internal Auditors, authoring strongly recommended guidance for the profession worldwide. Stephen is a national resource with deep understanding of assurance, its role in an organisation, and its ability to add value. He was a co-author of the Institute of Internal Auditors Global Position Paper on the Three Lines of Defence. Finally, Stephen regularly presents training and coaching workshops nationally and internationally, with recent presentations in Malaysia, Singapore, Thailand, UAE, Fiji, and Australia. He volunteers to grow the profession and is a non-executive Director (and current Vice-President) of the Institute of Internal Auditors Australia. LUNCH FOR THOSE ATTENDING BOTH WORKSHOPS WORKSHOP 2 CHALLENGES AND APPROACHES TO AUDITING ORGANISATIONAL CULTURE The findings of the Royal Commission into Banking have brought the concept of organisational culture, and the importance of a good culture in organisations to the forefront. But what is organisational culture? And how do you audit it? Key areas to be covered The difficulties in determining what culture is, and how it is measured Examine the different perspectives to assessing a performance-based culture Understand the complexity of the human being and the different behavioural styles Explore different methods of auditing culture and areas of assessment focus Determine the skills needed by internal auditors to assess and review culture Measuring and reporting on culture how to really understand where your organisation is at currently Explore different ways of providing an opinion on risk culture and how this can be used to drive appropriate behaviours throughout the organisation. Learning outcomes Understand culture from a neuroscience perspective Get insights into your own behavioural style Understand the practical aspects of cultural assessment Identify the role of risk appetite on culture Evaluate a range of models for auditing culture Formulate the best approach to assess risk culture in your organisation. Presenter: Adjunct Associate Professor Todd Hutchison, Director, Peopleistic Adjunct Associate Professor Todd Hutchison is an international bestselling author, company director, certified speaking professional and global behavioural and project management expert, leading the international business Peopleistic. Todd also resides on the boards of Leadership WA, Accumax Global, the Business Education Institute, and is the Chairman of the International Institute of Legal Project Management. He holds adjunct positions with CQUniversity, Curtin University and Edith Cowan University, and his involved in research in Middlesex and Leeds Trinity University. He holds Fellowships with the Governance Institute of Australia, Leadership WA, Australian Institute of Management, and the Project Management Institute. Todd was a former Director of Deloitte leading audit projects. Todd is listed in the Who s Who of Business in Australia, is recognised as a Global 101 Expert in project management, and is a world champion (grade 2) in music. Todd is progressing a PhD in business behavioural sciences, and is considered a leading global authority on team performance.

6 How to register Online Registration Register online at and follow the prompts. Each delegate must complete a separate online registration form. Please note this is a secure website. Registration forms Alternatively registration forms can be returned by fax , conferences@iia.org.au or mailed to: PO Box A2311, Sydney South, NSW 1235, Australia. IIA-Australia members must be financial at the time of registration to be eligible for the member rate. Please complete and return the registration form along with full payment. Each delegate must complete a separate registration form. Western Australia Internal Audit Conference 2018 Registration Fees Early Bird Conference Register before 31/08/2018 Early Bird Member $760 Early Bird Non-Member $920 Standard Conference Register after 1/09/2018 Standard Member $925 Standard Non-Member $1080 Post Conference Workshops - Additional Fee Register anytime Attend one Workshop Member $370 Attend one Workshop Non-Member $470 Attend both Workshops Member $640 Attend both Workshops Non-Member $840 #Groups - 3 or more people from the same organisation booking at the same time receive a 10% discount Conference fees All fees are quoted in Australian Dollars and are inclusive of the 10% compulsory goods and services tax (GST). CPE Attendance at the forum will provide 7.5 CPE hours. Attendance at the workshop will provide 4 CPE hours. Internal Audit is uniquely positioned to shape a risk-aware culture and influence the behaviours of those around it.

7 Registration form & tax invoice 1. PROVIDE PERSONAL DETAILS please use block letters Title Prof Dr Mr Mrs Ms Miss Other Family name Given name Postnominal CIA CRMA TM CCSATM GradCertIA CGAP TM QIAL TM CFSATM Other Position Organisation Address for correspondence City/State Country Postcode Telephone ( ) Facsimile ( ) Mobile Name as you wish it to appear on name badge Please indicate your membership number IIA Member 2. CONFIRM REGISTRATION TYPE AND FEES Early Bird Conference register before 31/8/2018 Early Bird Member $760 Early Bird Non-Member $920 Standard Conference register after 1/9/2018 Standard Member $925 Standard Non-Member $1080 Post Conference Workshops - Additional fee register anytime 3. INDICATE CONCURRENT SESSION PREFERENCES Concurrent conference sessions Thursday 13 September am 11.45am 1A How the APRA CBA report and Royal Commission will drive culture change 1B Unlocking the secrets of Blockchain 11.45am 12.30pm 2A Auditing the Invisible? Fraud, bribery and corruption 2B AI and Robotics governance 1.30pm 2.15pm 3A Taking an internal audit lens to culture Why soft controls matter? 3B Auditing an information processing environment 2.15pm 3.00pm 4A Public sector governance structures Embedding greater accountability and controls 4B Making data analytics real Case studies of data analytics at work 4 REGISTER FOR WORKSHOPS Workshops Friday 14 September am 12.30pm WS1 Assessing cybersecurity readiness 1.00pm 5.00pm WS2 Challenges and approaches to auditing organisational culture 5. SPECIAL REQUIREMENTS Dietary requirements Please specify if you have any meal requirements. Please note that some special meals will incur an additional change. You will be notified if this is the case for the food type you have indicated. Attend one Workshop Member $370 Attend one Workshop Non-Member $470 Attend both Workshops Member $640 Attend both Workshops Non-Member $840 TOTAL REGISTRATION FEES $ * Groups - 3 or more people from the same organisation booking at the same receive a 10% discount Special assistance Please indicate if you have a disability or require assistance to participate fully. Please list the type of assistance you require. Promotional Code # Promotional code / voucher number Discount applied $ NOTE: All fees are quoted in Australian dollars (AUD) inclusive of GST. This document will be a tax invoice/receipt for GST when you make payment. ABN # Only one promotional code / voucher number can be used at any one time.

8 6. PAYMENT DETAILS Method of payment (please choose an option) 1. I wish to pay by credit card* * 1.05% surcharge for Amex 1.23% surcharge for Visa/MasterCard 3% surcharge for Diners Please complete the following Visa MasterCard Amex Diners Total amount in AUD $ Credit Card Number Expiry Date Name of Card Holder Signature 2. I will transfer the above sum to the Western Australia Internal Audit Forum 2018 bank account (details below) Account Name: The Institute of Internal Auditors Australia Bank: Westpac Banking Corporation Address: 84 King Street, Sydney NSW 2000 Branch (BSB): Account Number: Swift code: WPACAU2S 7. RETURNING FORM Please return form and payment to Western Australia Internal Audit Forum 2018 Institute of Internal Auditors Australia PO Box A2311 Sydney South NSW 1235 Australia conferences@iia.org.au Each delegate must complete a separate registration form General enquiries conferences@iia.org.au Tel Tel Toll free (within Australia) Level 7, 133 Castlereagh Street Sydney NSW 2000 Australia When sending payment by telegraphic transfer from overseas, please add AUD$20.00 for bank fees. The delegate is responsible for all fees associated with the transaction. To enable us to identify your payment, please ensure that your name and Western Australia Internal Audit Forum 2018 appear on the transfer. Please a record to accounts@iia.org.au. 3. I have enclosed an Australian cheque (cheques should be made payable to The Institute of Internal Auditors Australia Cancellation Policy Cancellations must be notified in writing to IIA-Australia. Cancellations received 30 days prior to the conference will receive a full refund. Cancellations received from 30 days to 15 days prior to the conference will receive a refund less AUD $ administration fee, cancellations received within 14 days of the conference will forfeit the registration fee paid. A substitute delegate will be accepted at no extra charge, subject to membership status, if advised in writing. Transfer of monies to any other IIA product or service is not permitted. Privacy Statement I, or a later substitute hereby consent to my/their name, position and organisation being included in the Conference Delegate list and contact details forwarded by IIA-Australia to related third parties including sponsors and exhibitors. I understand that if I do not provide consent my name will not be published in the list of participants that is distributed to each conference delegate upon registration. I acknowledge that details will be used to confirm my membership status at IIA-Australia. If you do not indicate your preference it will be assumed that we may use your details as described. Consent Do not consent IIA-Australia will handle any personal information collected on this form in accordance with its Privacy Policy. Liability/Disclaimer On completing this registration form, I accept that to the extent permitted by law IIA-Australia is not responsible for the actions, advice or representations of delegates and speakers of Public Sector Internal Audit Forum In completing the registration form I indemnify the IIA- Australia for any direct, indirect or consequential loss or damage in connections with any personal accidents, losses or damage to personal property of myself and any later substitutes. Office Use Only Cheque $ Credit card $ Entered Date Comments